SEC Form 4 · accession 0001127602-17-029223
Sally Beauty Holdings, Inc. · SBH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Miller
Director
Period of report
Dec 8, 2016
Accepted (ET)
Oct 4, 2017 · 4:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368458
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 8, 2016 | G | 24,000 | $0.00 | D | 157,006 | I | by Rellim Investment Company |
| Common StockF2 | Sep 30, 2017 | M | 4,896 | — | A | 44,698 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Sep 30, 2017 | M | 4,896 | D | Sep 30, 2017 | — | Common Stock | 4,896 | 0 | D |
Explanation of responses
- F1Reflects the gift of shares by the Rellim Investment Company, LLC (the "LLC") to the John A. Miller Family Foundation. These shares were previously reported as being held by the Rellim Dynasty Trust but were transferred to the LLC. The reporting person is the manager of the LLC and the beneficiary of the trust that is the single member of the LLC. The reporting person does not have any beneficial ownership in the John A. Miller Family Foundation.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On November 1, 2016, the reporting person was granted 4,896 restricted stock units ("RSUs") pursuant to the Sally Beauty Holdings, Inc. Amended and Restated Independent Director Compensation Policy. Such RSUs vested on September 30, 2017 and the reporting person elected to receive shares of common stock in settlement of the RSUs on such date.